DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Hawkins Wealth Management

Former SEC-registered adviserNorth Liberty, IowaCRD 165615SEC 801-96285IAPD
Legal name Trh Financial LLC
Latest filing Feb 8, 2022
First filing on the tape Sep 26, 2012 · 36 filings
RAUM
$565M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$562M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$565M as of Feb 8, 2022
Mar 7, 2016$110M then
HNW client RAUM$408M as of Feb 8, 2022
Mar 7, 2018$107M then
State-registered IARs (5.B.3)6 as of Feb 8, 2022
Mar 7, 20163 then
Employees (5.A)14 as of Feb 8, 2022
Mar 7, 20169 then
Private funds: no history
RAUM +34% over the last fiscal year+31% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Feb 8, 2022; every figure names its basis
RAUM per advisor
$94.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
102derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$293,106derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+34%derivedbetween the last two annual amendments
Advisor growth, one year
-14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, educational seminars, otherreportedItem 5.G
Financial planning clients
616reportedItem 5.H
Wrap fee program
$444MreportedItem 5.I
Custody
$9.6M, 21 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$408M72%
  • Individuals$154M27%
  • Charitable organizations$2.7M0.5%
  • Corporations and businesses$271,0590.0%
Individual clients
420reported
HNW clients
192reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,928reported
Financial planning clients
616reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$9.6M for 21 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Sue Angela Breitsprecher · Chief Compliance Officercontrol
      since 01/2018 · owns less than 5%
    • Ryan Timothy Hawkins · Managing Membercontrol
      since 01/2017 · owns 75% or more of Hawkins Holdings, LLC
    • Michael Aaron Robertson · Managing Membercontrol
      since 01/2017 · owns 75% or more of Amr Financial
    Entity owners
    • Hawkins Holdings LLC · Managing Member
      direct · owns 75% or more
    • Amr Financial · Member
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Naples, FL1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,753 to 1,928
      Apr 2, 2021 to Feb 8, 2022
    • Advisory employees · 8 to 7
      Apr 2, 2021 to Feb 8, 2022
    • HNW clients · 139 to 192
      Apr 2, 2021 to Feb 8, 2022
    • Individual clients · 426 to 420
      Apr 2, 2021 to Feb 8, 2022
    • Assets in custody · $114M to $9.6M
      Apr 2, 2021 to Feb 8, 2022
    • Employees · 13 to 14
      Apr 2, 2021 to Feb 8, 2022
    • State-registered IARs · 7 to 6
      Apr 2, 2021 to Feb 8, 2022
    • Discretionary RAUM · $420M to $564M
      Apr 2, 2021 to Feb 8, 2022
    • HNW RAUM · $265M to $408M
      Apr 2, 2021 to Feb 8, 2022
    • Individual RAUM · $154M to $154M
      Apr 2, 2021 to Feb 8, 2022
    • Non-discretionary RAUM · $868,629 to $970,451
      Apr 2, 2021 to Feb 8, 2022
    • RAUM · $420M to $565M
      Apr 2, 2021 to Feb 8, 2022
    • Accounts · 1,688 to 1,753
      Nov 4, 2020 to Feb 17, 2021
    • HNW clients · 127 to 139
      Nov 4, 2020 to Feb 17, 2021
    • Individual clients · 442 to 426
      Nov 4, 2020 to Feb 17, 2021
    • Assets in custody · $85.2M to $114M
      Nov 4, 2020 to Feb 17, 2021
    • Financial planning clients · 0 to More than 500
      Nov 4, 2020 to Feb 17, 2021
    • State-registered IARs · 8 to 7
      Nov 4, 2020 to Feb 17, 2021
    • Discretionary RAUM · $325M to $420M
      Nov 4, 2020 to Feb 17, 2021
    • HNW RAUM · $202M to $265M
      Nov 4, 2020 to Feb 17, 2021
    • Individual RAUM · $133M to $154M
      Nov 4, 2020 to Feb 17, 2021
    • Non-discretionary RAUM · $10.6M to $868,629
      Nov 4, 2020 to Feb 17, 2021
    • RAUM · $336M to $420M
      Nov 4, 2020 to Feb 17, 2021
    • Accounts · 1,524 to 1,688
      May 17, 2019 to Mar 12, 2020
    • Advisory activities · 4 to 5
      May 17, 2019 to Mar 12, 2020
    • HNW clients · 112 to 127
      May 17, 2019 to Mar 12, 2020
    • Individual clients · 381 to 442
      May 17, 2019 to Mar 12, 2020
    • Assets in custody · $79.0M to $85.2M
      May 17, 2019 to Mar 12, 2020
    • Other offices · 0 to 1
      May 17, 2019 to Mar 12, 2020
    • Discretionary RAUM · $244M to $325M
      May 17, 2019 to Mar 12, 2020
    • HNW RAUM · $150M to $202M
      May 17, 2019 to Mar 12, 2020
    • Individual RAUM · $103M to $133M
      May 17, 2019 to Mar 12, 2020
    • Non-discretionary RAUM · $9.5M to $10.6M
      May 17, 2019 to Mar 12, 2020
    • RAUM · $253M to $336M
      May 17, 2019 to Mar 12, 2020
    • Accounts · 1,264 to 1,524
      Sep 14, 2018 to Mar 19, 2019
    • Advisory employees · 5 to 8
      Sep 14, 2018 to Mar 19, 2019
    • HNW clients · 61 to 112
      Sep 14, 2018 to Mar 19, 2019
    • Individual clients · 362 to 381
      Sep 14, 2018 to Mar 19, 2019
    • Assets in custody · $71.9M to $79.0M
      Sep 14, 2018 to Mar 19, 2019
    • Employees · 11 to 13
      Sep 14, 2018 to Mar 19, 2019
    Signals
    10 dated events
    • Angela Michelle Rummel left Hawkins Wealth Management for Wealth Enhancement Advisory Services, Llc (registered 2022-07-01)
      Jul 27, 2022 · Advisor changed firm · fact
    • Angela Sue Zimmerman left Hawkins Wealth Management for Wealth Enhancement Advisory Services, Llc (registered 2022-07-01)
      Jul 27, 2022 · Advisor changed firm · fact
    • Brent Robert Hawkins left Hawkins Wealth Management for Wealth Enhancement Advisory Services, Llc (registered 2022-07-01)
      Jul 27, 2022 · Advisor changed firm · fact
    • Timothy Insko left Hawkins Wealth Management for Wealth Enhancement Advisory Services, Llc (registered 2022-07-25)
      Jul 27, 2022 · Advisor changed firm · fact
    • Timothy Hawkins left Hawkins Wealth Management for Wealth Enhancement Advisory Services, Llc (registered 2022-07-01)
      Jul 27, 2022 · Advisor changed firm · fact
    • Christopher John Harris left Hawkins Wealth Management for Wealth Enhancement Advisory Services, Llc (registered 2022-07-01)
      Jul 27, 2022 · Advisor changed firm · fact
    • Aaron Robertson left Hawkins Wealth Management for Wealth Enhancement Advisory Services, Llc (registered 2022-07-01)
      Jul 27, 2022 · Advisor changed firm · fact
    • Hawkins Wealth Management's advisors moved to Wealth Enhancement Advisory Services, LLC (North Liberty, IA): 6 of 7 registered, on the same day
      Jul 27, 2022 · Firm absorbed (people side) · derived
    • Hawkins Wealth Management reported RAUM $565.1M, up 34% from $420.5M (2021-04-02 to 2022-02-08)
      Feb 8, 2022 · RAUM change · derived
    • Hawkins Wealth Management filed its initial SEC registration (Form ADV)
      May 6, 2015 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026